This module will examine the regulatory requirements set out in Chapter 6 (Custody Rules) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS).
Learners will understand the key elements of the CASS 6 framework and what firms need to do when holding client safe custody assets. Learners will be aware of when the custody rules apply and what to do when holding assets under Title Transfer Collateral Arrangements. They will learn what firms are required to do when depositing safe custody assets with third parties and know what records and accounts that firms are required in CASS 6.
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